| 09-04787 | 05/28/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Nancy Lawton
Respondent Lawyers(s): Tim Bowers
Arbitrator(s): Alan M. Schankel, Glenn Lloyd Nobel
Hearing Site: Philadelphia, PA
| | |
| 08-03219 | 05/27/2010 | Claimant(s): Anne K. and William L. Porter Foundation, Arlington Properties., Kinport Corporation, WRK, Mary S. Kinder Trust
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Larry R. Trussell, James C. Morrow, Christopher Daniel Gryzen
Hearing Site: Omaha, NE
|  | $391,375 |
| 09-02643 | 05/20/2010 | Claimant(s): Carol Bell, Walter Bell
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Sara Soto
Arbitrator(s): V. Michael Pabalis, Dennis R. Nolte, Charles W. Lavender
Hearing Site: Orlando, FL
| | $0 |
| 09-03013 | 05/19/2010 | Claimant(s): Arthur Lang, Deborah Lang
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Peter Fruin
Arbitrator(s): David Edward Upton, Wesley C. Wilson, Michael J. Pasquale
Hearing Site: Richmond, VA
| | $276,844 |
| 09-01827 | 05/18/2010 | Claimant(s): Lois Pillen
Claimant Lawyers(s): Gail Boliver
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): James C. Morrow
Hearing Site: Omaha, NE
| | $26,225 |
| 07-02954 | 05/07/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Jack Ballard
Respondent(s): Wachovia Securities, Stifel, Nicolaus & Co.., Gene Diedrich, Michael Nielsen
Respondent Lawyers(s): Andrew J. Shapren, Jack Ballard, Kenneth C. Mennemeier, Kristina L. Cashion
Arbitrator(s): Helen Marinak Blohm, Mark R. Palmer, M. Scott Donahey
Hearing Site: San Francisco, CA
| | |
| 09-01981 | 05/05/2010 | Claimant(s): Robert Poochigian & Patricia Poochigian
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Sandra D. Grannaum
Arbitrator(s): E. William Pastor, Glenn J. Hansen, Edward F. Koren
Hearing Site: Philadelphia, PA
| | $15,000 |
| 09-01532 | 05/03/2010 | Claimant(s): J.P. Morgan Securities, JP Morgan Chase and Company
Claimant Lawyers(s): Murphy J. Foster
Respondent(s): Wachovia Securities, James Poche, Kevin Knobloch, Shaun Burns
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): C. Ellis Henican, David J. Schexnaydre, Richard J. Clement
Hearing Site: New Orleans, LA
| | |
| 09-01667 | 05/03/2010 | Claimant(s): Esther J. Aboud IRA Account, The 2000 Esther Aboud Revocable Trust
Claimant Lawyers(s): Esther J. Aboud
Respondent(s): Wachovia Securities, James Wheat
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Roberta Haft, Milton C. Bennett, Michael G. Clark
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02142 | 04/30/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Larry Schnaid
Respondent Lawyers(s): Aviv L. Tuchman
Arbitrator(s): Salvatore A. Sciortino
Hearing Site: Los Angeles, CA
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